Form 4 for UPST Upstart Holdings, Inc.
Accepted 2021-11-23 00:00:00 ET · period of report 2021-11-19 · accession 0001628280-21-024057 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2021-11-23 | 2021-11-19 | UPST | Singh Cassidy Sukhinder | Dir | M - OptEx | $8.41 | +5,000 | 6,491 | +335% | +$42.0K |
| D | 2021-11-23 | 2021-11-19 | UPST | Singh Cassidy Sukhinder | Dir | S - Sale+OE | $211.76 | -5,000 | 1,491 | -77% | -$1.06M |
| D | 2021-11-23 | 2021-11-19 | UPST | Singh Cassidy Sukhinder | Dir | M - OptEx | $0.00 | -5,000 | 123.3K | -4% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-11-19 | M | A | 5,000 | $8.41 | 6,491 | D | — | — | (F1) Certain of these securities are restricted stock units (RSUs). Each RSU represents a contingent right to receive one share of Common Stock, subject to the applicable vesting schedule and conditions of each RSU. |
| 2 | Common | Common Stock | 2021-11-19 | S | D | 5,000 | $211.76 | 1,491 | D | — | — | (F1) Certain of these securities are restricted stock units (RSUs). Each RSU represents a contingent right to receive one share of Common Stock, subject to the applicable vesting schedule and conditions of each RSU. |
| 3 | Derivative | Stock Option (Right to buy) | 2021-11-19 | M | D | 5,000 | $0.00 | 123,295 | D | $8.41 · — to 2030-04-16 | 5,000 Common Stock | (F2) This option, originally for 128,295 shares, of which 5,000 shares have been exercised, vested as to one twenty-fourth of the shares subject to the option on April 1, 2020 and one twenty-fourth of the shares subject to the option vest each month thereafter, subject to the Reporting Person continuing as a service provider through each such date. |